Veronica A. Mccarthy
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Veronica Ann Mccarthy was a registered financial professional .
Veronica is a previously registered financial professional and started their career in finance in 1974. Veronica had worked at 9 firms and has passed the Series 63, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 12, 2010 - January 24, 2013
B. RILEY WEALTH MANAGEMENT
May 12, 2008 - July 14, 2010
JESUP & LAMONT SECURITIES CORP
March 16, 2006 - December 23, 2008
EMPIRE FINANCIAL GROUP, INC.
July 1, 2002 - March 15, 2006
THE SHEMANO GROUP, INC.
October 10, 2000 - July 1, 2002
LEHMAN BROTHERS INC.
August 3, 1998 - October 18, 2000
COWEN AND COMPANY
August 14, 1995 - August 3, 1998
HAMBRECHT & QUIST LLC
April 27, 1977 - August 9, 1995
J.P. MORGAN SECURITIES LLC
June 6, 1974 - June 29, 1975
SHUMAN, AGNEW & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
PC
Date: 11/5/1985
AMEX Put and Call ExamSeries 1
Date: 6/3/1974
Registered Representative ExaminationCurrent Firm
B. RILEY WEALTH MANAGEMENT
CRD#: 2543 / SEC#: 801-67275, 8-31206
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DIRECT OWNER | |
| BONNEMA, STEPHEN JOSEPH | CHIEF ADMINISTRATIVE OFFICER | 2229865 |
| MULLEN, MICHAEL ANTHONY | CHIEF EXECUTIVE OFFICER | 1428116 |
| ORTEGA, DANIEL | CHIEF COMPLIANCE OFFICER | 3095215 |
| SWAIN, MARY ANN NELL | CHIEF FINANCIAL OFFICER | 6484916 |
| ZANONE, PHILIP RICHARD JR | CHIEF OPERATING OFFICER | 2135221 |
Regulatory assets under management
| Total Number of Accounts | 9,621 |
| AUM (Assets Under Management) | $ 4,118,839,755 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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